Manager, Wealth Governance and Control
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The Wealth Shared Services Business Governance & Control (G&C) team is responsible for managing the overall risk management and governance portfolio for TD Wealth. The team is responsible for ensuring timely and consistent implementation - across the Wealth businesses - of all risk, control and governance programs, initiatives, policies and standards.
The G&C Delivery Support Team is responsible for promoting a sustained culture of risk management and regulatory adherence by embedding risk and regulatory affairs oversight in TD Wealth projects and initiatives. Together with our control partners and stakeholders, this team is responsible for the intake, interpretation and solutioning of end-to-end processes to facilitate effective roll out of new or enhanced Wealth infrastructure or capabilities and corresponding policies/procedures/ changes as applicable, as well as the implementation of any contemplated regulatory oversight into business as usual processes. Job Description
The role reports to the Senior Manager, G&C Delivery Support and supports overall G&C intake and centralized risk representation on enterprise or pan-wealth c apability/infrastructure
The Manager will be addressing regulatory and risk requirements, triaging and solutioning. In this role the successful candidate will work closely with partners across the organization including: Wealth Business Architecture, Wealth Compliance and Legal, Privacy, AML, Credit, Tax, Operations, among others to help institutionalize and promote a sustained culture of effective regulatory and non-regulatory change management by ensuring the appropriate intake of issues and stakeholders come together to determine appropriate business responses are implemented. We are looking for a self-motivated and innovative individual who excels in a fast paced, sometimes ambiguous and high impact business team. Primary Responsibilities
- Implement engagement model with control partners and stakeholders
- Coordinate and collaborate with G&C colleagues in the first line business support, regulatory affairs, and other teams within the ROC pillar and across G&C and Wealth Shared Services
- Provide thought leadership, business and regulatory subject matter expertise to understand changes for Wealth businesses and perform required impact and gap assessments.
- Provide subject matter expertise to interpret proposed changes, lead business and stakeholder discussions
- Prepare high-quality presentation materials for executives
- Effectively manage ad-hoc projects or tasks of varying complexities within established deadlines
- Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism
- Manage creation of aggregate views into intake, reporting & procedures
- The ideal candidate should have prior experience in financial services and have related experience in a Wealth/securities business, law, compliance, risk management and/or governance and control role
- Ability to understand securities, privacy, anti-money laundering, tax and other laws and regulations affecting the wealth businesses, as a compliment to Legal and Compliance functions
- Strong interpersonal skills, able to build relationships, effectively interact, influence and motivate individuals at all levels of the organization to make an impact
- Excellent organization skills and ability to effectively manage work under tight timelines and changing priorities
- A logical and strategic thinker with strong critical reasoning skills
- Self-motivated, resourceful team player with high energy and ability to work independently
- Comfortable leading through transformational change and recognized as a champion for continuous improvement
- Applies judgment in ambiguous or unclear situations to provide decisions and recommendations
- Excellent verbal and written communication skills with senior levels of management
- Be able to determine and operationalize all actions from the initiation of a change in infrastructure/capability or regulatory change/guidance/ notice, which can be complex, non-prescriptive and sometimes vague
- Strong ability to consume large volumes of information and summarize the information in a meaningful manner to business stakeholders
- University degree is required and a professional designation is considered an asset
- Advanced skills with Microsoft product suite (Excel, PowerPoint, Visio etc.)
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.